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i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Michael Davis v. Lehman Brothers, Inc. Docket Number: 2003-011514 Attomeys: For Claimant(s): Peter Pearlman - Saddle Brook, NJ For Respondent(s): Steven Knecht - New York, NY Date Filed: 3/3/2003 First Scheduled: 1/26/2004 Decided: 1/27/2004 Case Summary: Former Employee, claimant, alleges that the respondent failed to pay him money which he earned

* • NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Alfred Greco SSB IRA Custodian v Salomon Smith Barney and Frank Hamrak Docket Number: 2002-010526 Attorneys: For Claimant(s): Rina Spiewak, Jericho, NY For Respondent(s): Ann Parry - New York, NY Date Filed: 7/19/2002 First Scheduled: 9/9/2003 Decided: W/Wo/ Case Summary: Claimant, public customer alleges the following: fraud, breachof contract, breac

I NYSE New Yorlc Stock Exchange In the Matter of Arbitration Between Case: Don M. Collins v. Edward Jones v. Julie L. Collins Docket Number: 2003-011333 Attomeys: For Claimant(s): Jeffrey Pederson - Englewood, CO Richa-rd Lewins j(Co-counseX) For Respondent(s): Timothy Huskey - St. Louis, MO For 3rd Party: Julie Collins - Bentonville, AR Date Filed: 1/15/2003 First Scheduled: 2/18/2004 Decided: 2/20/04 Case Summary: C

' ' u - • • NYSE New Yorlc Stocic Exchange In the Matter of Arbitration Between Case: Albert Sockel and Emilo OKada v. Merrill Lynch and Joseph P. Kwan Docket Number: 2002-010681 Attomeys: >4'tmnaTinant(s): ^sUh^Sockd-^^ _^f.!?J^^'^y^ ) /-^'^^V*-"^ For Respondent(s): Lawrence Ross - Florham Park, NJ Date Filed: 9/3/2002 First Scheduled: 10/8/2003 Decided: 01/20/04 Case Summary: Customer v. member firm and regi

I NYSE New Yorli Stocli Excliange In tlie Matter of Arbitration Between Case: Linda Wolfson, as Executrix of the Estate of Alan Wolfson v. Sands Brothers & Co., Ltd., Steven B. Sands and Martin S. Sands Docket Number: 2003-011593 Attomeys: For Clainiant(s): Jacob Zamansky - New York, NY For Respondent(s): Richard Roth - New York, NY Date Filed: 3/6/2003 First Scheduled: 2/10/2004 Decided: 2/17/04 Case Summary: Customer cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Badaoui, (Claimant) vs. S.G. Cowen Securities Corp., Michael Levas, and Guy Estabrooke Heald, III, (Respondents) Case Number: 01-03316 Hearing Site: Boston, New York REPRESENTATION OF PARTIES Claimant, Charles Badaoui, hereinafter referred to as "Claimant": Gerald A. Phelps, Esq., Attorney at Law, Quincy, MA. Respondents, S.G. Cowen Securities Corp. ("S.G. Cowen"), Micha

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Dr. Shirley Budhos v. Merrill Lynch Pierce Fenner & Smith Docket Number: 2002-011087 Attomeys: For Claimant(s): Philip Raible - New York, NY For Respondent(s): April Chung - New York, NY Date Filed: 12/5/2002 First Scheduled: 9/24/2003 Decided: 12/17/03 Case Summary: Public customer against member firm alleges breach of fiduciary duty, fi-aud, and n

PNYSE New York Stock Exchange In the Matter of Arbitration Between Case: David M. Popowich v. Schroeder & Co., Inc., Tucker Anthony, Inc. Harry E. Kutcher, Salomon Smith Barney and RBC Dain Rauscher Inc. Attorneys: For Claimant(s): Marc Durant - Philadelphia, PA For Respondent(s): William Hohauser - New York, NY Denis Dice - Philadelphia, PA Date Filed: 3/25/2002 First Scheduled: 11/11/2003 Decided: 11/13/2003 Case Summary: C

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Teresa Young v. Fidelity Investments and Dan Emerson Docket Number: 2003-011622 Attomeys: For Claimant(s): Teresa Young - Vero Beach, FL For Respondent(s): Collen Hankins - Boston, MA Date Filed: 3/18/2003 First Scheduled: 1/15/04 Decided: 1/26/04 Case Summary: Claimant alleges mismanagement of account and delay in transferring accotmt. Product: IRA